Patricia Kappen
Patricia Kappen is a registered investment advisor at Centaurus Financial, INC., based in Westlake Village, CA, with 26 years of industry experience. Patricia operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.
Maximum advisory fees:
- Alpha, Beta, ABJ, Omega, Delta: 2.25%
- AA & VL: 1.50%
- Adviser-Directed: 1.35%
- FlexUMA: 2.25%
Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.
Location
Westlake Village, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Patricia owns San Juan Financial, which provides accounting, tax preparation, and bookkeeping services. She represents clients before the IRS and other government agencies, and prepares taxes.
Employment History
Current Registrations
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Financial West Group
Financial West GroupBroker
Torrey Pines Securities, INC.
Torrey Pines Securities, INC.Broker
Cooper Mcmanus
Securities America, INC.Broker
Girard Securities, INC.
Girard Securities, INC.Broker
Investors Capital Advisory
Investors Capital CORP.Broker
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
Sunamerica Securities, INC.Broker
Cardinal Capital Management, INC.Broker
Sunamerica Securities, INC.Broker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.